Cedric Joins
Professional summary
Cedric Joins, who also goes by Cedric Lawrence Joins, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Glendale, California.
Cedric is registered as a RR (Registered Representative) and started their career in finance in 1995. Cedric has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cedric Joins's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2014 - Present
NYLIFE SECURITIES LLC
Office #1: 801 North Brand Blvd 14th Floor, Glendale, CA 91203February 6, 2003 - March 1, 2006
CITICORP INVESTMENT SERVICES
February 6, 2003 - March 1, 2006
CITICORP INVESTMENT SERVICES
July 8, 1997 - November 22, 2002
MORGAN STANLEY DW INC.
December 19, 1995 - November 22, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2014)
(5/9/2018)
(11/17/2023)
(3/16/2016)
(1/25/2022)
Exams
Series 7TO
Date: 9/1/2020
General Securities Representative ExaminationFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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